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Microsoft Word - hearing _selling agent & LBDU_ 04122552.doc เอกสารรับฟงความคิดเห็น เร่ือง การแกไขหลักเกณฑการตั้งตวัแทน ขายหรือรับซื้อคืนหนวยลงทุน (selling agent) สํานักงานคณะกรรมการกํากับหลัก

https://capital.sec.or.th/webapp/phs/upload/phs1272948020Orkhor5_2553_attach1.pdf

Mutual Fund Prospectus - SCBFLX : SCB Flexible Fund

SCB ASSET MANAGEMENT COMPANY LIMITED|Cross Investing Fund | Offering Date : 26/09/2016 - 26/09/2016

http://market.sec.or.th/public/mrap/MRAPView.aspx?FTYPE=M&PID=0429&PYR=2559

Mutual Fund Prospectus - CORE : Core Flexible Fund

MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED|Specific Fund | Offering Date : 20/08/2007 - 20/08/2007

http://market.sec.or.th/public/mrap/MRAPView.aspx?FTYPE=M&PID=0001&PYR=2550

Mutual Fund Prospectus - BFLRMF : Bualuang Flexible RMF

BBL ASSET MANAGEMENT COMPANY LIMITED|Retirement Mutual Fund : RMF | Offering Date : 18/11/2002 - 25/11/2002

http://market.sec.or.th/public/mrap/MRAPView.aspx?FTYPE=M&PID=0059&PYR=2545

Mutual Fund Prospectus - LHFLRMF : LH FLEXIBLE RMF

LAND AND HOUSES FUND MANAGEMENT COMPANY LIMITED|Retirement Mutual Fund : RMF | Offering Date : 14/11/2012 - 26/11/2012

http://market.sec.or.th/public/mrap/MRAPView.aspx?FTYPE=M&PID=0885&PYR=2555

SEC files criminal complaint against ex-trader of derivatives agent for front running

Bangkok, August 17, 2015 ? The SEC filed a criminal complaint against Parin Pruksawan for committing front running in the Thailand Futures Exchange (TFEX) with the Economic Crime Suppression Division of the Royal Thai Police (ECD Police). The SEC found that during December 17, 2013 ? January 9, 2014, Parin, then a trader of DBS Vickers Securities (Thailand) Co., Ltd., had front run his clients? futures trading orders through an account linked to him at another broker for his personal gain. This...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6038

SEC penalizes eight investment consultants and three branch managers of LBDU agent

Bangkok, 21 November 2016 - The SEC has revoked the approval of eight securities investment consultants of {X1} Public Company Limited for committing frauds against the assets of mutual fund clients. In this regard, six of the offenders are banned for the maximum period of 10 years each, and the other two for five years each. In addition, three branch managers of the bank were penalized for misconduct related to the offences of the investment consultants. Following an inspection report of {X1},...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6552

SEC public hearing on amendments to PF/DF marketing agent rules

Bangkok, February 12, 2016 ? The SEC is seeking public comments on draft amendments to the principles and regulations on granting of approval for marketing agents of private funds (PF) and derivatives fund (DF) managers to enhance flexibility for business operation and adjust timeframes for approval procedures in accordance with the Licensing Facilitation Act of 2015. The draft amendments have taken into account the important role of PF and DF marketing agents in soliciting investors to use inv...

https://www.sec.or.th/EN/Pages/News_Detail.aspx?SECID=6210

การแก้ไขหลักเกณฑ์การตั้งตัวแทนขายหรือรับซื้อคืนหน่วยลงทุน (selling agent)

https://www.sec.or.th/TH/Pages/PB_Detail.aspx?SECID=108

กอง 4 (securities agent ในหลักประกันของทรัพย์สินที่ลงทุน)

จะร่วมกับเจ้าหนี้รายอื่นแต่งตั้งตัวแทน (securities agent) เพื่อดูแลหลักประกันดังกล่าวได้หรือไม่ และการตั้งตัวแทนดังกล่าวถือเป็นการตั้งตัวแทนตามมาตรา 100 แห่งพ.ร.บ. หลักทรัพย์ฯ หรือไม่

http://law.sec.or.th/content/4344/6813/1#6813